Fund dealers' first CE cycle to kick off on Dec. 1
Examining how taxes, expected investment outcomes and utility can affect asset location
Examining which investment method produces better returns
Sessions will offer innovative ways to integrate the products into your practice
Proposed changes, which include late filing fees and suspensions, draw criticism
Review IIROC's proposed changes to its CE rules by Feb. 26
If you’re an MFDA advisor, expect a published rule on continuing education (CE) requirements late this year or early 2018. Read: IIROC continuing education rules are here The self-regulatory organization (SRO) aims for CE requirements “to establish minimum standards for individuals to keep their industry knowledge current and maintain a high standard of professionalism.” Before […]
The SRO is currently reviewing its CE program
Looking to squeeze in credits before year end? We can help.
The authors identify 34 concrete, detailed strategies to improve client relationships, perform better discovery and give better advice.